Senior Investment Compliance Manager
2 weeks ago
Key Responsibilities:
As a senior member of the Compliance team, assist in the management of the 206(4)-7 and 38a-1 Compliance Programs, including oversight of the Investment Compliance testing and monitoring program.
Assist with the management and daily oversight of Compliance team members and commensurate with experience, be primarily responsible for the management of team members.
Maintain and demonstrate a thorough understanding of the regulations applicable to investment-related activities and stay abreast of regulatory developments and industry best practices.
Serve as key Compliance adviser to the business on various investment-related areas, such as code of ethics/insider trading, best execution, trade allocation, soft dollars and cross trading.
Manage the portfolio compliance monitoring program. Manage the review of investment guideline warnings and alerts and any matters for escalation.
Prepare certain board and oversight committee materials, including the production of mutual fund board materials, and other reporting as needed.
Assist with due diligence of service providers, including sub-adviser, fund administrator, transfer agent, and distributor due diligence visits and questionnaires.
Implement and enforce effective Compliance policies and procedures in accordance with applicable laws and regulations.
Assist with Form ADV updates.
Develop and deliver Compliance training.
Perform other Investment Compliance related duties, as assigned.
Qualifications:
Bachelor’s degree required; other related degrees, certifications, experience and training, a plus
10+ plus years in a Compliance role for a registered investment adviser and mutual fund complex, with private funds and Cayman Funds experience, preferred
Effective understanding of SEC regulations, with a particular focus on the Investment Company Act of 1940 and Investment Advisers Act of 1940
Proficiency in Bloomberg, Longview and MyComplianceOffice is a plus
Excellent analytical, written and oral communication skills
Prudent and practical judgment and high level of integrity
Excellent organizational and project management skills
Some management experience, or a desire to obtain management experience
The base salary range for this position is $180K - $270K. Actual salaries will vary and will be based on various factors, such as skills, experience, and qualification for the role. It is not typical for offers to be made at or near the top of the range.
In addition, this position may be eligible for a discretionary incentive-based bonus based on individual and company performance.
Eligible employees may participate in a 401 (K) program with a company profit sharing contribution, medical, dental, vision, life insurance and disability covering and paid holidays, vacation, and sick days.
About Bessemer Trust
Bessemer Trust is a leading multifamily office, overseeing more than $200 billion in assets for 3,000 individuals and families of substantial wealth. Its 1,200 employees are singularly focused on private wealth management — disciplined investment management, sophisticated wealth planning, comprehensive family office services, and highly personalized client service.
Established in 1907 as the family office for Annie and Henry Phipps, Bessemer Trust is in its seventh generation of ownership by the Phipps family. As a self-made entrepreneur, Henry Phipps was a founding partner and chief financial officer of Carnegie Steel.
Bessemer Trust retains its original focus as a privately owned and independent wealth manager deeply committed to its mission of providing peace of mind to its clients. Bessemer's adherence to putting clients' interests first, fiduciary mindset, and highly collaborative culture are at the heart of everything the firm does.
Key Facts
For 117 years, Bessemer Trust has operated continuously in a single line of business, independently owned by one family.
Headquartered in New York’s Rockefeller Center, Bessemer Trust has 22 offices in total. Woodbridge, NJ, is one of the firm’s largest offices, which hosts a wide range of technology and operations professionals. In addition to its sizable presence in New York and Woodbridge, the firm provides client service through offices in Atlanta, Boston, Chicago, Dallas, Delaware, Denver, Garden City, Grand Cayman, Greenwich, Houston, Los Angeles, Miami, Naples, Nevada, Palm Beach, San Diego, San Francisco, Seattle, Stuart, and Washington, D.C.
To watch a video about Bessemer Trust’s history, click here.
To learn more about Bessemer Trust, click here.
About Our Employee Rewards and Benefits
We provide exceptional rewards and benefits that are among the best in the industry, giving our people access to a wide range of options, including:
Competitive base salary plus discretionary annual bonus for select positions
A 401(k) plan with a generous annual profit-sharing contribution
Personalized development and career opportunities, including tuition reimbursement support
Comprehensive medical, dental, and vision plans with zero contributions for employee coverage
Employee assistance (EAP) and wellness programs
Hybrid work environment: 60% in office, 40% remote for most positions
Paid time off and paid parental leave
Employer-paid life insurance and short- and long-term disability coverage
Legal services and financial wellness plans at no cost to employees
Bessemer Trust is committed to creating a diverse and inclusive environment and is proud to be an equal opportunity employer. We encourage candidates of diverse backgrounds to apply.
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